PSX Equities Port. Request Form. Order Type. Connectivity. Sponsored Access (required)

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1 PSX Equities Port Request Form Please the completed form to or fax to Order Type Add Removal - (Please see second page) Modify - Please list ports to modify below Ports to Modify Sponsored Access (required) Is your member organization planning to use this port for Sponsored Access? 1 Yes No If yes, provide the name of the party that is being sponsored by your firm. Connectivity Which service provider will you be using? Co-Lo Direct Connect/POP Extranet OUCH 4.2 TCP OUCH 4.1 TCP Flite FIX 4.2 FIX 4.1 RASHPort 1.1 RASHPort 1.0 How many sessions would you like to request? (Default: 1) Do you want to copy or modify an existing account? Yes No If yes, please provide the session to copy and the details below can be omitted. Has this version of your front-end application been certified? Yes No What type of connection do you want to order? Test 2 NTF Production Would you like to request a Chicago Backup/DR port? Yes No Do you want to reject ISO orders? Yes No 1

2 OUCH Only Post Only Do Nothing (default) Cancel Order OUCH Only Price Slide Yes No Do Nothing (default) Cancel Order Cancel / Re-Enter Order Self Match Prevention (by MPID) Yes No Decrement both sides Cancel oldest Cancel newest FIX / RASH Only Do you want routing capabilities? Yes No What MPID will be giving up on this port (i.e. NQPX)? Do you want to enable Attribution on the MPID? 3 Yes No What clearing number will the giveup MPID clear? What is the desired max order size? (Default 25,000) What is your source IP address? OUCH/FIX/RASH Only 4 Do you want Cancel on Disconnect Enabled? If yes, select one below: Yes No Cancel All Keep Cross Keep GTC (FIX, RASH only) Keep GTC & Cross ( FIX, RASH Only) Other Settings Post Only RMO Use PassportBehavior Splitsymbols SendingPendingAck SendCancelAck Use Milliseconds SendReplaceAck SupressAck DefaultOTCRoute DefaultNYSERoute DefaultAMEXRoute 2

3 Equities Trading: Drop Copy Drop 2.2 (OUCH Only) Drop 2.1 (OUCH Only) RASH Drop (RASH Only) FIX Drop (OUCH Only) FIX Drop (RASH Only) Please provide the MPID(s) you would like to drop. FIX Only Please provide the Sendercomp(s) you would like to drop. Please select the messages you wish to receive on the drop session. (Check all that apply) Accepts Cancels Breaks Executions Rejects (FIX Only) FIX Only Please select the protocol version applicable: FIX 4.0 FIX 4.1 FIX 4.2 Removal Requests Please provide the product and logon(s) for disconnect below: OUCH FIX Port RASHPort DROP Contact Information Contact Name Phone Order Business Trader Technical Security Admin Billing Address Phone Street/Room # City / State / Zip 3

4 Additional Comments and/or Request Notes Order Authorization Firm Name Authorized Contact: (Please Print) Signature MPID/Firm ID Direct Debit Clearing # Date 4

5 1. NASDAQ PHLX LLC Rule 1094 and The NASDAQ Stock Market LLC and NASDAQ BX, Inc. Rules 4615 allow market participants to enter into sponsored access relationships. Sponsored Access is defined in these rules as an arrangement whereby a member, member organization or Participant permits its customers to enter orders into the exchange's trading system that bypass the member's, member organization s or Participant s trading system and are routed directly to the exchange, including routing through a service bureau or other third party technology provider. If you have a sponsored access arrangement, you are required to disclose that relationship by sending an to membership@nasdaq.com. Please indicate the party that is being sponsored by your firm and on which market. This information is utilized for both regulatory and operational information in granting access to these markets. 2. This test option is only applicable to order entry equity ports. 3. Attribution is only available to registered market makers. 4. The automatic cancel feature is offered through FIX, RASHport and OUCH implementation. You understand that Nasdaq provides a best effort attempt to cancel orders upon disconnection. In the event your connection is disconnected, nevertheless, you are required to call the Nasdaq Trade Desk at to status orders. There is no guarantee that the automatic cancel feature provided by Nasdaq will be error free or operate without interruption. By signing below, you agree and acknowledge that Nasdaq is not liable or responsible in any way for any orders, which may fail to be cancelled using the automatic cancel feature. All services and products requested on this form are governed by the terms in the Nasdaq U.S. Services agreement AdministrationSupport/ AgreementsTrading/Nasdaq_access_agreement.pdf and the Nasdaq Transaction Services Policies Content/AdministrationSupport/AgreementsTrading/ NTSPolicies.pdf document. If you do not receive a written confirmation from Nasdaq within 3 business days that your request has been received and processed, please contact Nasdaq Subscriber Services at or subscriber@nasdaqomx.com. Please be advised that beginning on January 2, 2013, all new port requests from subscribers must be received no later than 3:00PM EST to guarantee processing for the next trading day. In the event that Nasdaq receives a request after 3:00PM EST, every effort will be made by Subscriber Services to process the request for the next day, but delivery will not be guaranteed. In all cases, Subscriber Services will respond promptly with an estimated date of completion. Copyright All rights reserved. Nasdaq and PSX Equities are registered trademarks of Nasdaq, Inc Q18 (May) 5